Compliance

Policy Information

Policy Number: 04.13
Issued Date: 07/01/2006

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Policy Statement

Duke requires its staff, medical staff, and contractors to comply with all applicable federal, state and/or local laws and the related Duke policies and procedures.  Any intentional violation of such laws, policies and procedures will result in corrective action.  Corrective action steps may vary, depending on circumstances and the severity of the violation, and can range from a verbal warning up to and including termination. Duke also requires the prompt reporting of situations in which individuals suspect that violations of such laws, policies and procedures may have occurred.

  • In addition to these general requirements, staff, medical staff and contractors related to Duke Medicine have additional responsibilities and requirements which are included in the DUHS Corporate Compliance & Code of Conduct.

Reporting Concerns Related to Compliance or Fraud:

Compliance concerns or violations must be brought to the attention of management so that they can be properly addressed.  These issues should be reported immediately using any of the following means:

  • Report directly to a supervisor, manager, department head or dean;
  • Report to the subject specific compliance office which deals with the issue involved (such as the Occupational and Environmental Safety Office for safety concerns or the Research Costing and Compliance Office for research cost compliance issues);
  • Report DUHS compliance issues to the DUHS Compliance Office (668-2573), the Duke Medicine Integrity Line (1-800-826-8109) or through the appropriate DUHS Reporting Channels;
  • Contact the Duke School of Medicine Compliance Office (684-2144);
  • Contact the Institutional Ethics & Compliance Program. The IECP Office can be reached by phone (613-7691) or by email (iecp@duke.edu) and will coordinate with the appropriate compliance offices and operational units; or
  • Call the toll-free Compliance & Fraud Hotline (1-800-849-9793) to report any concern anonymously. This outside service will refer any issues reported to the IECP Office for action and will maintain the anonymity of the caller unless the caller agrees to be contacted directly.

Staff are also encouraged to report fraud, waste and mismanagement to Duke's Internal Audit Office at 613-7630 or through the Compliance & Fraud Hotline. 

All concerns reported to Duke are taken seriously and will be reviewed to determine the appropriate course of action.  The confidentiality of individuals assisting Duke by providing contact information will be protected to the fullest extent possible.  Duke policy, and in many cases federal law, protects individuals bringing such concerns forward in good faith from any retaliation and/or retribution. 

Policy Details